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DFPG Investments Portfolio holdings

AUM $1.28B
1-Year Est. Return 27.55%
This Fund
S&P 500
This Quarter Est. Return
+1.99%
1 Year Est. Return
+27.55%
3 Year Est. Return
+38.18%
5 Year Est. Return
+159.07%
10 Year Est. Return
–
AUM
$121M
AUM Growth
+$16.6M
Cap. Flow
+$19.1M
Cap. Flow %
15.78%
Top 10 Hldgs %
30.34%
Holding
183
New
20
Increased
81
Reduced
52
Closed
24

Top Buys

Rank Stock Value
1
ARCT icon
Arcturus Therapeutics
ARCT
+$4.98M
2
VTI icon
Vanguard Total Stock Market ETF
VTI
+$4.17M
3
VXUS icon
Vanguard Total International Stock ETF
VXUS
+$2.6M
4
ICSH icon
iShares Ultra Short Duration Bond Active ETF
ICSH
+$2.41M
5
ABBV icon
AbbVie
ABBV
+$1.22M

Top Sells

Rank Stock Value
1
ZBRA icon
Zebra Technologies
ZBRA
+$1.21M
2
NVDA icon
NVIDIA
NVDA
+$1.04M
3
AAPL icon
Apple
AAPL
+$574K
4
AX icon
Axos Financial
AX
+$548K
5
SIVB
SVB Financial Group
SIVB
+$498K

Sector Composition

Rank Sector Weight
1 Healthcare 9.9%
2 Technology 9.78%
3 Financials 8.93%
4 Communication Services 5.73%
5 Consumer Discretionary 3.58%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
UTF icon
126
Cohen & Steers Infrastructure Fund
UTF
$3.11B
$238K 0.2%
9,196
+546
+6% +$14.4K
ET icon
127
Energy Transfer Partners
ET
$69.5B
$236K 0.2%
19,127
+7,263
+61% +$101K
ANGL icon
128
VanEck Fallen Angel High Yield Bond ETF
ANGL
$3.08B
$235K 0.19%
8,136
+220
+3% +$6.43K
GNL icon
129
Global Net Lease
GNL
$1.86B
$235K 0.19%
12,052
-3,358
-22% -$65.4K
LHX icon
130
L3Harris
LHX
$56.9B
$234K 0.19%
1,117
+1
+0.1% +$205
XLE icon
131
State Street Energy Select Sector SPDR ETF
XLE
$38.3B
$233K 0.19%
8,342
+200
+2% +$6.05K
HYS icon
132
PIMCO 0-5 Year High Yield Corporate Bond Index Exchange-Traded Fund
HYS
$1.75B
$227K 0.19%
2,305
+28
+1% +$2.79K
AGG icon
133
iShares Core US Aggregate Bond ETF
AGG
$138B
$226K 0.19%
1,991
+154
+8% +$17.3K
XLF icon
134
State Street Financial Select Sector SPDR ETF
XLF
$57.4B
$222K 0.18%
8,305
-746
-8% -$20.6K
COST icon
135
Costco
COST
$429B
$220K 0.18%
755
-24
-3% -$6.75K
SPAB icon
136
State Street SPDR Portfolio Aggregate Bond ETF
SPAB
$9.81B
$219K 0.18%
7,352
-149
-2% -$4.38K
IJH icon
137
iShares Core S&P Mid-Cap ETF
IJH
$123B
$217K 0.18%
5,850
-6,020
-51% -$231K
RIGS icon
138
ALPS Strategic Income Fund
RIGS
$60.5M
$217K 0.18%
8,707
+41
+0.5% +$1.02K
VBK icon
139
Vanguard Small-Cap Growth ETF
VBK
$23.2B
$215K 0.18%
1,210
+70
+6% +$13K
SDY icon
140
State Street SPDR S&P Dividend ETF
SDY
$22.3B
$213K 0.18%
2,158
-107
-5% -$10.8K
VZ icon
141
Verizon
VZ
$201B
$211K 0.17%
3,531
-730
-17% -$42K
BSV icon
142
Vanguard Short-Term Bond ETF
BSV
$44.7B
$210K 0.17%
+2,589
New +$209K
SBUX icon
143
Starbucks
SBUX
$118B
$209K 0.17%
+2,459
New +$228K
PG icon
144
Procter & Gamble
PG
$347B
$207K 0.17%
1,714
-767
-31% -$90.6K
SHY icon
145
iShares 1-3 Year Treasury Bond ETF
SHY
$25.4B
$206K 0.17%
+2,419
New +$205K
MFIC icon
146
MidCap Financial Investment
MFIC
$811M
$205K 0.17%
13,321
+39
+0.3% +$637
HYT icon
147
BlackRock Corporate High Yield Fund
HYT
$1.36B
$187K 0.15%
17,655
+1,564
+10% +$16.6K
IQ icon
148
iQIYI
IQ
$1.21B
$161K 0.13%
+10,270
New +$189K
AMLP icon
149
Alerian MLP ETF
AMLP
$12.9B
$159K 0.13%
3,592
+208
+6% +$9.84K
EVV
150
Eaton Vance Limited Duration Income Fund
EVV
$1.06B
$156K 0.13%
12,476
+692
+6% +$8.69K
4 5
6
7 8

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DFPG Investments's Q3 2019 Portfolio in Review

As of Q3 2019, DFPG Investments held 183 positions worth $121M, up 16% from $104M the previous quarter. Its ten largest holdings account for 30% of the portfolio.

DFPG Investments deployed $19.1M of net new capital in Q3 2019, opening 20 new positions and adding to 81 existing holdings. Its largest new stake was Arcturus Therapeutics: 460,450 shares worth $4.8M.

By sector, the portfolio is most concentrated in Healthcare at 9.9% of assets, up from 5% a quarter earlier, followed by Technology and Financials.

On the sell side, the largest reduction was Apple, an estimated $574K trimmed.

  • DFPG Investments's largest Q3 2019 buy was Arcturus Therapeutics: 460,450 shares worth $4.8M.
  • DFPG Investments added most to Vanguard Total Stock Market ETF in Q3 2019, an estimated $4.17M increase.
  • DFPG Investments's biggest Q3 2019 reduction was Apple, cutting an estimated $574K.
  • DFPG Investments fully exited Zebra Technologies in Q3 2019, selling an estimated $1.21M.
  • DFPG Investments's ten largest holdings make up 30% of its $121M portfolio in Q3 2019.
  • DFPG Investments opened 20 new positions and closed 24 in Q3 2019.
  • DFPG Investments's portfolio value rose 16% quarter-over-quarter to $121M.

Based on DFPG Investments's 13F filing for Q3 2019, filed 15 Oct 2019.